Securities Civil Remedies Finance & Banking

SEC Enforcement Actions Dodd-Frank Enforcement Settlement Whistleblowers Whistleblower Awards RMBS Citigroup Fraud Insider Trading SEC v Citigroup CFTC Judge Rakoff Compliance Popular Securities Fraud Class Action DOJ Investment Adviser Mortgage-Backed Securities Securities Act of 1933 Chevron Deference Collateralized Debt Obligations Interlocutory Appeals Risk Management Appeals Civil Monetary Penalty Consent Decrees Disgorgement Hedge Funds Ponzi Scheme Broker-Dealer Fiduciary Duty FINRA Securities Shareholders Swaps Bank of America Breach of Duty CEA Injunctions Position Limits SCOTUS Trustees Board of Directors Derivatives EU Investors Morgan Stanley Neither Admit Nor Deny Settlements Securities Exchange Act UK Bernie Madoff Breach of Contract Damages DOL FCPA Reporting Requirements Sanctions Sarbanes-Oxley Securities Litigation Administrative Procedure Act Annual Reports Appraisal Attorney's Fees Class Certification Clawbacks Commercial Bankruptcy Corporate Counsel Credit Suisse Criminal Prosecution Cy Pres Funds Disclosure Requirements Enforcement Statistics ERISA Expungement FHFA FIRREA Fund Managers Goldman Sachs JPMorgan Chase Misappropriation Mortgages Municipalities Oil & Gas Pensions Preliminary Injunctions Retaliation Statute of Limitations White Collar Crimes 401k Administrative Hearings Admissions of Liability Adverse Employment Action Anti-Money Laundering Anti-Retaliation Provisions Asset-Backed Securities Banking Sector Banks Burden of Proof Business Valuations CEOs Chief Compliance Officers CMBS Countrywide Deutsche Bank Directors Discovery Rule Due Diligence Employer Liability Issues ESOP Fannie Mae Final Rules Financial Adviser Financial Statements Fines Freddie Mac Gabelli v SEC Halliburton Harbinger Capital Partners LLC Illegal Tipping Incentive Compensation Internal Investigations Investment Advisers Act of 1940 Investment Company Act of 1940 Investment Fraud Libor Mandatory Victim's Restitution Act Mary Jo White Mergers Merrill Lynch Misrepresentation Money Laundering Municipal Bonds Mutual Funds Negligence Negligent Misrepresentation New Regulations OCIE Ontario Securities Commission Penalties Permanent Injunctions Prejudgment Interest Private Equity Private Equity Funds Private Right of Action Professional Liability Proposed Regulation Public Officials Restitution Retroactivity S&P Summary Judgment UBS Underwriting US Bancorp Valuation Volcker Rule Whistleblower Protection Policies Abuse of Discretion Administrative Fines Administrative Review Board Aiding and Abetting AIG Algorithmic Trading Algorithms ALJ American Bankers Association Appointments Clause Arbitration Arms Length Transactions Article II Asset Freeze Asset Management Asset Valuations Assignments Assured Guaranty Corp. ATMs Attorney Generals Auditors Audits Australia Australian Securities and Investments Commission Bear Sterns Beneficial Owner Benefit Plan Sponsors Bitcoin Board Deferance Bond Financing Breach of Warranty BrokerCheck BRRD Business Litigation C-Suite Executives Calculation of Damages Canada Capital Markets Capital One Cell Phones CFPB Charitable Organizations China Clinical Trials Collateralized Loan Obligations Comcast v. Behrend Conflicts of Interest Consent Consent Order Contract Interpretation Corporate Officers Corruption Court-Appointed Receivers Credit Agreements Credit Reporting Agencies Crime Victims CTA Custody Rule D&O Insurance Dark Pool Date of Valuation Debt Debt Financing Debt Restructuring Debt Securities Debtors Deferred Prosecution Agreements Defined Contribution Plans Department of Business Oversight Derivative Suit Disclosure Document Productions E*Trade EMIR Energy Energy Sector Enforcement Guidance Equitable Estoppel Equitable Relief Equitable Surcharge Equity Compensation Equity Financing ESMA Ethics European Banking Authority Evidence Examination Priorities Excessive Fees Executive Compensation Fair Market Value Fairness Standard False Advertising False Statements FDIC Federal Reserve Fees Fifth Amendment Financial Institutions Financial Regulatory Reform FinCEN First Derivative Traders Foreign Banks Foreign Corporations Foreign Nationals Forum Fourth Amendment Fraud-on-the-Market Fraudulent Transfers FSMA GAAP Gartenberg Factors Government Investigations Halliburton v Erica P. John Fund Hewlett-Packard Hiring & Firing HKEx Hong Kong HSBC Indemnification Independence Rules Inflation Adjustments Information Reports Injunctive Relief Institutional Investors Insurance Industry Interlocutory Orders Internal Reporting Internal Revenue Code (IRC) Investigations Investment Investment Funds Investment Management IRS ISDA Janus Capital Group Judicial Settlement Agreements Jurisdiction Jury Verdicts Legal Advice Privilege Lehman Brothers Liquidation Litigation Hold Loan Agreements Loans Market Access Rule MiFID II Minerals Minority Shareholders Misleading Statements Money Transmission Act Money Transmitter Motion to Dismiss Motion To Strike Motion to Vacate Municipal Advisers Municipal Securities Issuers Natural Resources New York Times No-Action Relief Non-Prosecution Agreements NRSRO NSA Offshore Companies Patriot Act Pay-To-Play Pharmaceutical Industry Portfolio Managers Post-Trial Order Preemption Private Placements Privileged Documents Proprietary Trading Protected Activity Protective Covenants Proxy Put Prudential Regulation Authority Public Employees Public Offerings Punitive Damages Putative Class Actions Qualified Purchaser Qualified Retirement Plans Rajat Gupta Rating Agencies Real Estate Development Real Estate Investments Receivership Reformation Registration Requirement Regulation A Regulatory Agenda Reimbursements Remand Remediation Reorganizations Representations and Warranties Resource Extraction Retirement Retirement Plan Retroactive Application Right to Privacy Right to Remain Silent Risk Assessment Risk Retention Rival Director Slate Rule 10(b) Rule 10b-5 SAC Capital Safe Harbors Section 10(b) Section 1504 Section 304 Section 36(b) Section 409A Section 5 Servicing Agreements SFC Shareholder Litigation Short Sales SIPA SIPC Specific Performance Stanford Ponzi Scheme Stock Drop Litigation Stock Purchase Agreement Stocks Strategic Enforcement Plan Subject Matter Jurisdiction Summit Energy Target Company Tax Increment Financing Tax-Exempt Bonds Telecommunications Tender Offers Tippees Title Insurance Total Shareholder Return (TSR) Training Tranche Transfer Agents Transparency Trust Preferred Securities Unjust Enrichment Unregistered Securities US Bank US v Newman Vacated Veto Rights Wachovia Warrantless Searches Wash Sale Rules Wash Trades Washington Mutual Wells Fargo Wiretapping